Benjamin Yu has extensive experience in compliance and regulatory oversight within the financial services industry. Currently serving as a Securities Compliance Examiner at the U.S. Securities and Exchange Commission since November 2014, Benjamin conducts examinations of registered investment advisers and investment companies, focusing on compliance with federal and state regulations. Prior to this role, Benjamin was Vice President of Legal & Compliance at BlackRock, where responsibilities included overseeing compliance for broker-dealers and establishing legal policies. Benjamin's experience also includes serving as a Senior Regulatory Coordinator at the Financial Industry Regulatory Authority, where oversight of compliance for approximately 50 firms was a key duty. Benjamin's career began as a Field Auditor at the Alliance for Audited Media, conducting audits of newspapers in California. Benjamin holds a Bachelor of Science in Managerial Economics from the University of California, Davis.
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